Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Erben (Erben), previously associated with Td Private Client Wealth LLC, has at least one disclosable event. These events include one customer complaint, alleging that Erben recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on January 08, 2026.
Client alleges unauthorized purchases in his brokerage account. The alleged transactions occurred on August 26, 2025 and November 25, 2025. The matter is currently under investigation and client is being contacted for more information.